SS
Sergio Sotolongo
BOLTON SECURITIES
MIAMI, FL 33131
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CRD#: 4542995
SS
Professional summary
Sergio Sotolongo is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in North Miami Beach, Florida.
Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sergio has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) SERGIO IS ALSO LICENSED WITH BOLTON SECURITIES CORPORATION, AN SEC LICENSED IAR. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. THIS ROLE REPRESENTS SERGIO's FULL-TIME JOB IN TANDEM WITH REGISTERED REP INVESTMENT SERVICES. 2) OWNER AND MANAGER OF SDS WEALTH MANAGEMENT, LLC, ENTITIY CREATED TO OPERATE SECURITIES AND INVESTMENT ADVISORY BUSINESSES. NOT DIRECTLY INVESTMENT RELATED. CONDUCTED FROM BRANCH LOCATION. BEGAN JULY, 2023. SERGIO IS CONTACT PERSON. HOURS SPENTS MANAGING ACTIVITY DOES NOT APPLY, LESS THAN 1.
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Sotolongo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sergio Sotolongo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 19, 2023 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
June 2, 2023 - Present
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
NORTH MIAMI BEACH, FL
Past
May 6, 2014 - June 6, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Aventura, FL
Past
August 31, 2012 - June 6, 2023
MORGAN STANLEY
BD
CRD#: 149777
Aventura, FL
Past
January 1, 2005 - September 17, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
March 7, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(6/2/2023)
IAR
Florida(6/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-6947
Established
Delaware since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
154
SEC notice filing (38 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,977 |
| AUM (Assets Under Management) | $ 7,004,872,405 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Miami, FL 33131TRUST BUT VERIFY
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